[List of CFR Sections Affected (LSA), December 2010] [From the U.S. Government Publishing Office, www.gpo.gov] TITLE 17_COMMODITY AND SECURITIES EXCHANGES Chapter I_Commodity Futures Trading Commission (Parts 1_199) 1.1 Removed.....................................................10-55418 1.3 (nn) and (yy) revised.......................................10-55418 1.4 Revised.....................................................10-55418 1.10 (j) revised................................................10-55418 1.35 (a), (a-1) and (b) revised.................................10-55419 1.36 (a) revised................................................10-55422 1.37 (a)(1) revised.............................................10-55422 1.40 Revised....................................................10-55422 1.46 (a) and (b) revised........................................10-55422 1.52 (a), (c) introductory text, (1), (2), (g)(3), (4), (h), (j) and (k) revised...............................10-55423 3.1 (c) revised.................................................10-55424 3.4 (a) revised.................................................10-55424 3.10 Heading, (a)(1), (b) and (d) revised.......................10-55424 3.12 Heading, (a), (f)(1)(iii)(E), (4), (h)(1)(i) and (iii) revised; (j) removed..............................10-55424 3.21 (b)(3), (c) introductory text, (1), (2), (3) and (4)(i) revised..........................................10-55425 3.30 (a) revised................................................10-55426 3.31 (a)(1), (b), (c) and (d) revised...........................10-55426 3.33 (a) introductory text, (b) introductory text, (6) and (e) revised.........................................10-55426 3.44 (a)(1) through (5) revised.................................10-55427 3.45 (b) revised................................................10-55427 3.50 (b)(2) revised.............................................10-55427 3.60 (b)(2)(i)(B) revised.......................................10-55428 4.7 (a)(1)(v)(B) and (2)(i) revised.............................10-55428 4.12 (b)(1)(i)(C) revised.......................................10-55428 4.13 (a)(3)(ii)(A) and (B)(1) revised...........................10-55428 4.14 (a)(7) revised.............................................10-55428 4.23 (a)(1), (7), (b)(1) AND (2) revised........................10-55428 4.24 (b)(1) introductory text, (e)(6), (g), (h)(2), (4)(iii), (i)(2)(ii), (j)(1)(vi), (3), (l)(1)(iii), (2) introductory text and (i) revised; (b)(1) clause amended; (i)(2)(xii) redesignated as (i)(2)(xiii); (b)(4) and new (i)(2)(xii) added...........................................10-55429 4.25 (c)(3)(ii) revised.........................................10-55430 4.30 Revised....................................................10-55430 4.33 (a)(6), (b)(1) and (2) revised.............................10-55430 4.34 (b), (e)(2), (g), (h), (i)(2), (j)(1), (3), (k)(1)(ii), (iii), (2) introductory text and (i) revised.................................................10-55430 5 Added.........................................................10-55432 10.1 (a) revised................................................10-55449 30 Order........................................................10-35291 44 Added; interim...............................................10-63084 44.00 (c), (d) and (e) redesignated as (d), (e) and (f); (c) revised; interim...............................10-78896 44.03 Added; interim............................................10-78896 140.94 Added....................................................10-55449 145.5 (d)(1)(viii) and (h) revised..............................10-55449 147.3 (b)(4)(i)(H) and (8) revised..............................10-55450 160.1 (b) revised...............................................10-55450 160.3 (a) introductory text, (2), (n)(1)(i), (2)(i), (o)(1)(i) and (u)(2)(i)(A) revised; (k)(2)(i)(B) through (F), (w)(2), (3) and (4) redesignated as (k)(2)(i)(C) through (G), (w)(3), (4) and (5); new (k)(2)(i)(B), new (w)(2) and (x) added........................................10-55450 160.4 (c)(2)(ii) and (e)(1)(iv) revised.........................10-55451 160.30 Introductory text revised................................10-55451 166.2 Revised...................................................10-55451 166.5 (a)(1)(i), (ii) and (iii) redesignated as (a)(1)(i)(A), (B) and (C); new (a)(1)(ii) added; (a)(1)(iv) removed; (a)(2), (3), (c)(5)(1)(A) and (C) revised................................10-55451 190.01 (a) revised; (oo) added..................................10-17302 190.04 (d)(3) added.............................................10-44893 190.07 (b)(2)(viii) revised.....................................10-17303 190 Appendix A amended..........................................10-17303 Chapter II_Securities and Exchange Commission (Parts 200_399) 200 Authority citation revised..................................10-47449 200.30-3 (a)(12), (31) AND (57) revised; (a)(42) amended; (a)(58) added......................................10-62467 200.30-4 (a)(1), (3), (4), (10), (11) and (13) revised.....................................................10-42600 (a)(13) revised...............................................10-49820 [[Page 52]] (a)(15) added.................................................10-54465 200.30-11 Added.................................................10-47449 200.82a Added...................................................10-56780 Regulation at 75 FR 56780 eff. date stayed indefinitely................................................10-64641 200.735-1--200.735-18 (Subpart M) Authority citation revised............................................10-42276 200.735-1 Revised; footnote 1 removed...........................10-42276 200.735-2 (b) revised...........................................10-42276 200.735-3 (a) revised; footnotes 2 through 5, 7, (b)(2) through (6) and (8) through (12) removed; (b)(7) and footnote 6 redesignated as (b)(2) and new footnote 1; new (b)(2) amended; (c) through (h) added.......................................10-42276 200.735-4 (a) and (c) revised; footnotes 8, 11 through 16, (b)(1) through (4), (6), (7), (8), (d) and authority citation removed; (b)(5)(i), (ii), (iii), (e), (f), (g) and footnotes 9 and 10 redesignated as (b)(1), (2), (3), new (d), new (g), (h) and new footnotes 2 and 3; new footnote 2 and new (d)(1) amended; new footnote 4, new (e) and new (f) added; new (d)(2)(ii) revised..........................................10-42276 200.735-5 Revised; footnote 17 removed..........................10-42277 200.735-6 Revised; footnote 18 removed..........................10-42277 200.735-7 Revised; footnote 19 removed..........................10-42277 200.735-8 (a) revised; footnotes 20, 21 and 22 removed; (d)(1) and (2) amended; footnotes 23 and 24 redesignated as new footnotes 5 and 6 10-42277 200.735-9 Revised...............................................10-42277 200.735-10 Revised..............................................10-42277 200.735-11 (a) revised; footnote 25, (c) through (f) and (j) removed; (g), (h), (i), (k) and (l) redesignated as new (c) through (g); new (c), (d) and (e) amended....................................10-42278 200.735-15 (b), (e) and (f) amended.............................10-42278 200.735-17 Amended..............................................10-42278 201.61--201.68 (Subpart C) Removed..............................10-57385 201.430 (c) amended.............................................10-47449 202 Authority citation revised..................................10-47449 202.11 Redesignated as 202.190..................................10-47451 202.140--202.190 (Subpart A) Added..............................10-47449 202.190 Redesignated from 202.11................................10-47451 210.2-02 (f) revised............................................10-57387 211 Interpretive release........................................10-59896 229.308 (a)(4) and (b) revised..................................10-57387 230.146 Regulation at 74 FR 3974 exp. date extended to 7-16-11; (c)T amended...........................10-72664 230.151A Regulation at 74 FR 3175 withdrawn.....................10-64642 230.239T Regulation at 74 FR 3974 exp. date extended to 7-16-11; (e) amended............................10-72664 231 Interpretive release........................................10-59897 232.13 (a)(4) revised...........................................10-56780 Regulation at 75 FR 56780 eff. date stayed indefinitely................................................10-64641 232.301 Revised.......................................10-17854, 10-55966 232.312 (a) introductory text amended...........................10-80300 240 Authority citation revised..................................10-54477 Authority citation amended....................................10-64653 240.12a-10T Regulation at 74 FR 3975 exp. date extended to 7-16-11; (b) amended............................10-72664 240.12h-1 Regulation at 74 FR 3975 exp. date extended to 7-16-11; (h)T amended...........................10-72664 240.13Aa-2T Added; interim......................................10-64653 240.13a-11 (b) revised..........................................10-56780 Regulation at 75 FR 56780 eff. date stayed indefinitely................................................10-64641 240.13d-1 (b)(1)(i) and (c)(1) revised; (b)(1) Instruction 1 added.........................................10-56780 Regulation at 75 FR 56780 eff. date stayed indefinitely................................................10-64641 240.13d-102 Amended.............................................10-56780 Regulation at 75 FR 56780 eff. date stayed indefinitely................................................10-64641 240.14a-2 (b) introductory text revised; (b)(7) and (8) added...............................................10-56780 Regulation at 75 FR 56780 eff. date stayed indefinitely................................................10-64641 240.14a-4 (b)(2) introductory text and concluding text amended................................................10-56781 Regulation at 75 FR 56781 eff. date stayed indefinitely................................................10-64641 240.14a-5 (e)(1) and (2) amended; (e)(3) added..................10-56782 [[Page 53]] Regulation at 75 FR 56782 eff. date stayed indefinitely................................................10-64641 240.14a-6 (a)(4) through (7) redesignated as (a)(5) through (8); new (a)(4) and (p) added; (a) Note (3) amended........................................10-56782 Regulation at 75 FR 56782 eff. date stayed indefinitely................................................10-64641 240.14a-8 (i)(8) revised........................................10-56782 Regulation at 75 FR 56782 eff. date stayed indefinitely................................................10-64641 240.14a-9 (c) added; authority citation removed; notes (a) through (d) redesignated as notes a. through d...................................................10-56782 Regulation at 75 FR 56782 eff. date stayed indefinitely................................................10-64641 240.14a-11 Added................................................10-56782 Regulation at 75 FR 56782 eff. date stayed indefinitely................................................10-64641 240.14a-12 Instructions amended.................................10-56787 Regulation at 75 FR 56787 eff. date stayed indefinitely................................................10-64641 240.14a-18 Added................................................10-56787 Regulation at 75 FR 56787 eff. date stayed indefinitely................................................10-64641 240.14a-101 Items 7 and 22 amended..............................10-56788 Regulation at 75 FR 56788 eff. date stayed indefinitely................................................10-64641 240.14n-1 Undesignated center headiing and section added.......................................................10-56788 Regulation at 75 FR 56788 eff. date stayed indefinitely................................................10-64641 240.14n-2 Added.................................................10-56788 Regulation at 75 FR 56788 eff. date stayed indefinitely................................................10-64641 240.14n-3 Added.................................................10-56788 Regulation at 75 FR 56788 eff. date stayed indefinitely................................................10-64641 240.14n-101 Added...............................................10-56788 Regulation at 75 FR 56788 eff. date stayed indefinitely................................................10-64641 240.15c2-12 (b)(5)(i)(C) introductory text, (2), (6), (7), (8), (10), (11), (d)(1)(ii) and (2)(ii)(B) revised; (b)(5)(i)(C)(12), (13), (14) and (d)(5) added; (d)(1)(iii) removed..................10-33155 240.15c3-5 Added................................................10-69825 240.15d-11 (b) revised..........................................10-56792 Regulation at 75 FR 56792 eff. date stayed indefinitely................................................10-64641 240.15Ba2-6T Added; interim.....................................10-54477 241 Interpretive release....................10-33156, 10-59897, 10-60617 242.200 Regulation at 75 FR 11323 compliance date extended to 2-28-11.........................................10-68702 242.201 Regulation at 75 FR 11323 compliance date extended to 2-28-11.........................................10-68702 243.100 (b)(2)(iii) removed; (b)(2)(iv) redesignated as new (b)(2)(iii).............................10-61051 249.220f Form 20-F amended......................................10-57387 249.240f Form 40-F amended......................................10-57387 249.308 Form 8-K amended........................................10-56792 Regulation at 75 FR 56792 eff. date stayed indefinitely................................................10-64641 249.330 Form N-SAR amended......................................10-64123 249.331 Form N-CSR amended......................................10-64123 249.1300T (Subpart N) Added; interim............................10-54477 260.4d-11T Regulation at 74 FR 3975 exp. date extended to 7-16-11; amended................................10-72664 274.101 Form N-SAR amended......................................10-64123 274.128 Form N-CSR amended......................................10-64123 275.203-1 (a) and (b) revised...................................10-49267 275.204-1 (a) and (c) notes removed; (b) and (c) revised.....................................................10-49267 275.204-2 (a)(18) added; (h)(1) revised.........................10-41068 (a)(14) revised...............................................10-49268 275.204-3 Revised...............................................10-49268 275.206(3)-3T (d) amended.......................................10-82241 275.206(4)-3 (e) added; authority citation removed 10-41069 275.206(4)-4 Removed............................................10-49269 275.206(4)-5 Added..............................................10-41069 279.1 Form ADV amended..........................................10-49269 Proposed Rules: 1--199 (Ch. I)..................................................10-67301 1............10-47738, 10-50718, 10-50950, 10-51429, 10-63732, 10-65586, 10-67254, 10-67642, 10-70152, 10-77576, 10-78185, 10-80174, 10- 80572 3.....................................................10-70881, 10-71379 4...........................................10-54794, 10-55698, 10-67254 15..............................................................10-67258 16................................10-41775, 10-54801, 10-54802, 10-80572 20....................................................10-50950, 10-67258 21..............................................................10-78185 23...........10-71379, 10-71391, 10-71397, 10-75432, 10-76666, 10-80638, 10-81519 30..........................................10-47738, 10-67642, 10-77588 35..............................................................10-59666 36..............................................................10-33198 37....................................................10-33198, 10-63732 [[Page 54]] 38................................10-33198, 10-42633, 10-63732, 10-80572 39...........10-42633, 10-63113, 10-63732, 10-67277, 10-77576, 10-78185, 10-80747 40..........................................10-42633, 10-63732, 10-67282 43....................................................10-76140, 10-76930 45..............................................................10-76574 48..............................................................10-70974 49..............................................................10-80898 140.........................................10-47738, 10-63113, 10-67277 151.............................................................10-50950 155.............................................................10-80638 160.............................................................10-66014 162.............................................................10-66018 165.............................................................10-75728 170.............................................................10-71379 180.............................................................10-67657 190...................................................10-75162, 10-75432 200--399 (Ch. II)...............................................10-55295 200.............................................................10-23328 210.............................................................10-47064 229..........10-23328, 10-59866, 10-62718, 10-64182, 10-65442, 10-66590, 10-80374, 10-80948, 10-80978 230.........................................10-23328, 10-35920, 10-64182 232.............................................................10-23328 239.........................................10-23328, 10-47064, 10-80374 240..........10-21456, 10-23328, 10-42982, 10-47064, 10-51429, 10-62718, 10-64182, 10-65442, 10-66590, 10-66622, 10-68560, 10-70488, 10- 75208, 10-77306, 10-79320, 10-79992, 10-80174, 10-82490 2242....................10-20738, 10-32556, 10-39626, 10-65882, 10-75208 243.............................................................10-23328 249..........10-21456, 10-23328, 10-47064, 10-59866, 10-62718, 10-64182, 10-65442, 10-66590, 10-66622, 10-70488, 10-77306, 10-79320, 10- 80374, 10-80948, 10-80978, 10-82490 270...............................10-35920, 10-42982, 10-47064, 10-66622 274.........................................10-42982, 10-47064, 10-66622 275.....................10-42982, 10-63753, 10-75650, 10-77052, 10-77190 279.............................................................10-77052